Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Extends BDs' Compliance Deadline With Amended Reg NMS
By Melanie WaddellBroker-dealers told the agency they need more time beyond the May 20 deadline.
April 24, 2019
Ladenburg Hires Former Cetera, Advisor Group ExecDavid Ballard will now support Securities America, Triad Advisors, Investacorp, Securities Service Network and KMS Financial Services.
April 24, 2019
FINRA Launches New Fintech OfficeFINRA's Cook said that innovation poses new challenges for their members, and "it is essential that we as regulators keep pace."
April 24, 2019
Fidelity Expands Its Digital Store for AdvisorsThe Wealthscape Integration Xchange now includes tools from Addepar and Wealthbox.
April 24, 2019
Celebrity Advisor David Bach: Get Millennials Now or Lose Business LaterBach, the writer of "The Latte Factor," urges advisors to get in front of their millennial clients "in the next five years," or lose them.
April 24, 2019
What an Advisor Group-Centerbridge Deal Means for IBDsWith recent PE deals being struck at high prices, one industry watcher says, there could be some storm clouds ahead.
April 24, 2019
Advisors Beware: Subscription-Based Financial Advice Gearing UpA study by EY recommends that financial firms adopt a subscription model or risk being outrun by tech firms entering the market.
April 23, 2019
Centerbridge May Buy Advisor Group for $2B: ReportBut a deal between the private equity firm and the independent broker-dealer group hasn't been finalized.